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HIPSSA
Support for Harmonization of the ICT
Policies
in Sub-Sahara Africa
28/29 August, 2013, Swaziland
Summary of the Content
 What is Personal Information? How is it
Processed?
 What is Sensitive Information?
 Who is a Data Subject?
 Who is a Data Controller?
 Who is a Data Processor?
 What are the principles of data protection?
 Governing Trans-border flow of personal
information
Data Controller
• “data controller” means a public or private body
or any other person which or who, alone or
together with others, determines the purpose of
and means for processing personal information,
regardless of whether or not such data is
processed by that party or by a data processor on
its behalf, where the purpose and means of
processing are determined by or by virtue of an
act, decree or ordinance, the controller is the
natural person, legal person or public body has
been designated as such by or by virtue of that
act, decree or ordinance.
Data Controller – Ultimate
Responsibility
• “data processor” refers to a natural person, legal person, or public
body which processes personal information for and on behalf of the
controller and under the data controller’s instruction, except for the
persons who, under the direct authority of the controller, are
authorised to process the data;
• “data protection officer” or “DPO” refers to any individual
appointed by the data controller charged with ensuring, in an
independent manner, compliance with the obligations provided for
in this law;
• “data controller's representative” or “controller's representative”:
refers to any natural person, legal person or public body
permanently established on the territory [of the concerned
country], who takes the place of the data controller in the
accomplishment of the obligations set forth in this law;
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Data Controller Continued
• Organisations that process personal data – data controller or data
processor or representative.
• Data controller – responsible for compliance including security
breaches.
• Contracts – statement that a supplier is acting as a data processor
and confirm responsibility of data controller (customer)
• Unclear
• Lawyers, accountants and doctors are data controllers
• Outsourced service providers are data processors.
Defining Personal Information
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information about an identifiable individual that is recorded in any form, including,
without restricting the generality of the foregoing:information relating to the race, national or ethnic origin, religion, age or marital
status of the individual;
information relating to the education or the medical, criminal or employment
history of the individual or information relating to financial transactions in which
the individual has been involved;
any identifying number, symbol or other particular assigned to the individual;
the address, fingerprints or blood type of the individual;
the name of the individual where it appears with other personal information
relating to the individual or where the disclosure of the name itself would reveal
information about the individual;
correspondence sent to a data controller by the individual that is explicitly or
implicitly of a private or confidential nature, and replies to such correspondence
that would reveal the contents of the original correspondence; and
the views or opinions of any other person about the individual.
Processing of Personal Information
processing: refers to any operation or set of operations
which is performed upon personal information, whether
or not by automated means, such as obtaining, recording
or holding the data or carrying out any operation or set of
operations on data, including –
• (a) organization, adaptation or alteration of the data;
• (b) retrieval, consultation or use of the data; or
• (c) alignment, combination, blocking, erasure or
destruction of the data
• Limitations on Processing
Sensitive Personal Information
“sensitive personal information” (a) refers to genetic data,
data related to children, data related to offences, criminal
sentences or security measure, biometric data as well as,
if they are processed for what they reveal, personal
information revealing racial or ethnic origin, political
opinions, religious or philosophical beliefs, affiliation,
trade-union membership, gender and personal
information concerning the health or sex life of the
individual (b) refers to any personal information
otherwise considered by Swaziland law as presenting a
major risk to the rights and interests of the data subject,
in particular unlawful or arbitrary discrimination.
Case studies
• Torbay Care Trust in Torquay was fined £175,000 after it published
the sensitive details of over 1,000 employees on the Trust’s
website. The data covered individuals’ names, Dates of birth,
National Insurance numbers, Religion and Sexuality
We regularly speak with organizations across the health service to
remind them of the need to look after people’s data. The fact that this
breach was caused by Torbay Care Trust publishing sensitive
information about their staff is extremely troubling and was entirely
avoidable. Not only were they giving sensitive information out about
their employees but they were also leaving them exposed to the threat
of identity fraud.
Stephen Eckersley, Head of Enforcement
Case studies
• Australian Privacy Commissioner case
• Information was disclosed for a purpose other than the
primary purpose for which it was collected, and the
disclosure was not permitted by any of the exceptions
• The Commissioner formed the view that the disclosure
was an interference with the complainant's privacy
• Conciliation and Settlement
What happened to the News of the
World! (Case Study)
• The closure of the News of the World, the best-read Sunday
newspaper in the English language, is a stark illustration of
the reputational and commercial damage that can result
from privacy-intrusive practices carried out in the name of
‘investigative journalism’.
• This case demonstrates that data protection applies even in
relation to the publication of material in the media.
However, in such cases, the issue to be considered in the
first instance is whether a general public interest could be
deemed to apply to the publication of the material. If it
does then the general requirements of data protection are
set aside. However, if no public interest could legitimately
be claimed, then the media must have due regard to their
data protection obligations
Principles
A number of principles involved in data protection will be discussed and illustrated
through case studies. Some cases will illustrate more than one principle:
Confidentiality:
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Southampton Municipality and CCTV cameras case; The Southampton
municipality had a policy that all taxis had to have CCTV cameras and audio
recording. The Commissioner ruled that the processing was unlawful because it
breached the confidentiality principle and that there had not been demonstrated
that there was need.
Access:
• Ashbury Taverns case: In this case, the Commissioner received complaint that an
access request had been denied by a data processor. The Commissioner’s office
issued an enforcement notice requiring Ashbury Tavern to comply with the access
Adequacy and legitimate purpose
Canadian Regulator v Canadian Insurance Adjusters:
• Complaints were filed by consumers regarding overboard
data collection approaches by Canadian insurance
adjusters. The loss adjusters required claimants to sign
consent forms which listed several categories of personal
information which the adjusters wanted to be authorised to
obtain from 3rd parties and also pass on or disclose to
whomever. The Commissioner ruled that the complaint was
legitimate and that an organisation was not as a condition
of the supply of a service or a product, to require an
individual to consent to the collection, use, disclosure of
information beyond that required to fulfill the explicitly
specified and legitimate purpose
Accountability &Security Safeguards
Principle
• Marks and Spenser, the safeguards case: An
agent engaged by M&S lost a computer that
contained valuable sensitive personal data.
Commissioner ruled that M&S should have
put in safeguards to protect the information
Fairness, lawfulness, accuracy &
necessity
“Solicitors from Hell” case: Reinforces the link
between lawful processing and human rights. The
publisher said the EU convention on human rights
gave freedom of expression and requested people
to name and shame “their oppressor solicitors” and
he added them to his list of “solicitors from hell”
Information of a sensitive nature was contained in
the publications. The law society sued the
publisher. The court ruling in favour of the law
society, held amongst others that the data had been
processed in an unfair and unlawful manner, that
it was not accurate, not necessary, etc
Limits of use and disclosure
Canadian Regulator v Canadian Insurance Adjusters;
Complaints were filed by consumers regarding overboard
data collection approaches by Canadian insurance
adjusters. The loss adjusters required claimants to sign
consent forms which listed several categories of personal
information which the adjusters wanted to be authorised
to obtain from 3rd parties and also pass on or disclose to
whomever. The Commissioner ruled that the complaint
was legitimate and that an organisation was not as a
condition of the supply of a service or a product, to
require an individual to consent to the collection, use,
disclosure of information beyond that required to fulfill
the explicitly specified and legitimate purpose
Implementation
• Policy:
• Privacy Policy (internal)
• Privacy Policy (external)
• Information Security Policy
• Monitoring Policy
• Records Management Policy.
• Contracts:
• Consent
• Third Parties
• Data Processors
• Data Controller’s Representative
• Employees/ Contractors
Assessments
• Technical
• Compliance Assessments
TRANS BORDER FLOW OF PERSONAL
INFORMATION
Background to Transborder Flow
• “Transborder data flow" term that arose in the 1980s
following concerns in the EU regarding the value of
information and the exchange of information across
countries
• between business units of one company, data
processing services or purposes ancillary to the
commercial engagement.
• Includes transfer of human resources, financial records
customer information: marketing and travel, and for
public sector agencies (law enforcement, border
controls and tax agencies).
Application
• Adequate level of assurance
• Countries - adequate level of protection – assessment
• Derogation
– Data Subject Consent
– Transfer is necessary ….
– Authorisation
• Criteria and Methodology for Assessments
• Contracts
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Three conditions in order to guarantee a minimum level of protection: the
purpose limitation principle, restrictions on onward transfers and the data
importers' undertaking of providing the data subjects with the rights of access,
rectification, deletion and objection
Limitations on Trans border Flow
• Member State with harmonised law:
• recipient establishes that the data is necessary
• for the performance of a task carried out in the
public interest
• pursuant to the lawful functions of a data
controller
• legitimate interests of the data subject not
prejudiced
• subject to conditions
Non member state with harmonised
law/3rd party
• adequate level of protection is ensured in the
country of the recipient and the data is
transferred solely to permit processing
otherwise authorised to be undertaken by the
controller
• subject to due diligence assessment and
further conditions
Assessment
• assessed in the light of all the circumstances
surrounding the relevant data transfer(s),
• particular consideration to be given to the
nature of the data, the purpose and duration
of the proposed processing, the recipient’s
country, the relevant laws in force in the third
country and the professional rules and
security measures which are complied with in
that recipient’s country
Deeming by the Authority
• categories of processing - transfer of personal data to
countries outside (i) Swaziland (ii) SADC is not authorized
• authorize a transfer or a set of transfers of personal
information to a recipient country outside Swaziland or
SADC which does not in its laws ensure an adequate level
of protection - controller satisfies the Authority that it shall
ensure adequate safeguards with respect to the protection
of privacy and fundamental rights and freedoms of the data
subjects concerned, and regarding the exercise of the data
subject’s rights such safeguards can be appropriated
through adequate legal and security measures and
contractual clauses in particular
Thank you
Mrs. Kuena Mophethe
ITU International Expert: Data Protection Law
[email protected]
Ms. Gcinaphi Mndzebele
ITU National Expert: Data Protection Law